Operational and Technical Arrangements for Settlement Internaliser Reporting under CSDR Article 9(1)

Version Number: 3.0 7 May 2021 Page 1 of 5 Settlement Internaliser Reporting under Article 9(1) of Regulation 909/2014 (‘CSDR’) Operational and Technical Arrangements Central Bank of Ireland Data standards and formats for Settlement Internaliser reporting are prescribed in the legislation. Further information can be obtained on ESMA’s website; this includes guidelines, technical guidance and related XML files as well as XSD https://www.esma.europa.eu/regulation/post-trading/settlement This document sets out the operational and technical arrangements (‘technical arrangements’) for submitting settlement internaliser reports under Article 9(1) of the CSDR (‘settlement internaliser report’) to the Central Bank of Ireland’s (‘Central Bank’) system. It should be read in conjunction with the above referenced ESMA Technical Specifications1 1.0 Submission of Settlement Internaliser Reports to the Central Bank Reports must be submitted to the Central Bank via the secure Online Reporting website (‘Online Reporting System’) and can only be submitted by Authorised ONR users2 in a Settlement Internaliser. (Such entities are referred to as Submitting Entities for the purposes of these Operational and Technical Arrangements.) The return option will display on the Online Reporting System (‘ONR’) as ‘CSDR Settlement Internaliser Return’ type option (under ‘Investment Services – Scheduled Returns’). Please contact your ONR Firm Administrator to request access to this return type. 1.1 Confirmation of sharing of files with ESMA Before uploading a file to ONR, the Submitting Entity’s authorised user must confirm that the file can be transmitted by the Central Bank’s system to ESMA by accepting the following statement on the ONR file upload screen: ‘By submitting this Return you are providing the Central Bank of Ireland with permission to share this Return and its content with ESMA for validation and analysis. Once ESMA have completed their validations, you will receive a confirmation message. If the Return is accepted by ESMA the return status will change to Accepted.’ The following message will be displayed if the Submitting Entity attempts to upload a file without first providing this confirmation:

1 Technical Guidance for Settlement Internalisers – Report Validation Rules CSDR 2 Please refer to the Online Reporting System User Manual https://www.centralbank.ie/docs/default-source/Regulation/how-we-regulate/supervision/online￾reporting-process/onr-user-manual.pdf?sfvrsn=10

Version Number: 3.0 7 May 2021 Page 2 of 5 ‘You must acknowledge you are providing Central Bank of Ireland with permission to share this return and its content with ESMA.’ 2.0 File Contents The uploaded file must contain ISO 20022 compliant XML that is valid according to the Settlement Internaliser Reporting schema (refer to ESMA link provided above). The file should contain a Business Application Header (ref section 6.4 of ESMA’s Technical Guidance for Settlement Internalisers – Report Validation Rules CSDR Article 9 – Internalised Settlement Reporting) in order that the firm’s returns are successfully uploaded to ESMA’s systems. With respect to the ‘From’ and To’ elements the ‘ID’ is a mandatory element of type ‘Max35Text’ (based on string). The Business Message Identifier must be populated with a unique identifier and be in the format "IE_{C-Code}{TimeStamp}" where {C-Code} is the Central Bank’s supervisory code for the reporting institution and {TimeStamp} is in the format YYYYMMDDhhmmss. Example Business Message Identifier: "IE_C12345_20201002163412" 3.0 File Naming Convention The naming convention to be used when submitting files is <Sender><FileType><Recipient><Key1>.xml, where:  <Sender> – is prefix “NCA” followed by the Country Code of the Submitting Entity (e.g. “NCAIE”).  <FileType> – is the standard text “DATISR” standing for Data for Internalised Settlements.  <Recipient> – is the standard text “CSDR9”.  <Key1> – contains the following elements delimited by “-“: o The country code (ISO country code or the special value “TS”) that the report concerns o The LEI of the settlement internaliser (for branches of settlement internalisers established outside the EU, branches should submit their reports providing the LEI of the head office (non-EU)) o The year for which the content of the report relates to o The quarter for which the content of the report relates to (e.g. “Q1”, “Q2”, “Q3” or “Q4”). Example filename: “NCAIE_DATISR_CSDR9_IE-635400OAUSKT6BT5UZ19- 2019-Q1.xml”

Version Number: 3.0 7 May 2021 Page 3 of 5 Please note that the reporting XML file must be archived into a zip file. Example filename: “NCAIE_DATISR_CSDR9_IE-635400OAUSKT6BT5UZ19- 2019-Q1.zip” 4.0 Validation 4.1 The Central Bank’s system will verify compliance of the file with the XML schema (syntax of the whole file and specific settlement internaliser report).  If the file is not compliant, the whole file will be rejected (see section 4.3.2 below).  If the file is compliant the Central Bank will submit the file to ESMA’s systems. 4.2 The following file statuses will be used by the Central Bank’s systems for files uploaded: Statuses Definition Received The file has been received and will be added to the queue for processing Queued The file is in the queue awaiting processing Processing The file is currently being processed 4.3 When processed one of the following statuses will display. Statuses Definition Accepted Internalised Settlement report is accepted. Rejected Internalised Settlement report is rejected. 4.3.1 Accepted Files Where ‘accepted’ file displays the return must be both finalised and signed-off. ONR users will only be able to finalise and sign-off a file when a positive ESMA feedback file (ESMA status ‘ACPT’) has been received. Note that these processes cannot be completed by the same person. The ONR Firm Administrator is required to provide the necessary access to two ONR users. One user is required to upload and finalise and a second user is required to “sign off”. 4.3.2 Central Bank Validation Files will be validated by the Central Bank’s system to verify that they are compliant with the XML schema published by ESMA.  Where a file is rejected by the Central Bank’s system because it is not compliant with the XML schema, an error code of FIL-001 will be generated, together with an error message containing the necessary corrective action;  The rejected status and associated error codes will display on screen;  An email will issue to the authorized person with details of the errors to be corrected; and  A feedback file from the Central Bank will be made available to the Submitting Entity via ONR.

Version Number: 3.0 7 May 2021 Page 4 of 5 4.4 ESMA Validation Files that pass validation by the Central Bank’s system will be transmitted to ESMA by the Central Bank.  They will undergo validation checks by ESMA as per the ESMA Technical Specifications.  If a file is rejected by ESMA, error codes will be as specified by the ESMA Technical Specifications.  The rejected status and associated error codes will display on screen, together with an error message containing the necessary corrective action.  An email will issue to the authorized person with details of the errors to be corrected.  A feedback file from ESMA will be made available to the Submitting Entity via ONR.  The naming convention of the feedback file will be as specified in the ESMA Technical Specifications. The <Key 2> element of the feedback file name is generated when the Central Bank’s system transmits the file from the Submitting Entity to ESMA.  Please note that it may take up to 24 hours for ESMA to provide the feedback (please see section 5.0 below). 5.0 Modification /Cancellation of Reports Submitted To  correct erroneous data submitted an updated report may be submitted with an ‘amend’ status; the XML should include the value ‘AMND’. o The ‘accepted’ return in the Central Bank system will need to be unlocked by the Central Bank at the request of the Submitting Entity.  cancel a submitted report’ a ‘cancel’ status should be used; the XML should include the value ‘CANC’. o As above, the accepted return will firstly need to be unlocked by the Central Bank. Please refer to section 5 of the ESMA Technical Specifications for further information Modification and cancellation files that have been accepted by ESMA must be both finalised and signed off (see section 4.3.1 above). Submitting Entities should ensure that  they receive the ESMA feedback for a report that is ‘processing’ in advance of attempting to submit an ‘AMND’ or ‘CANC’ for the specific report;  ensure that the ‘AMND’ or ‘CANC’ report contains a unique Business Message Identifier (see section 2.0 above); and  such files are submitted in sequence

Version Number: 3.0 7 May 2021 Page 5 of 5 6.0 View Uploaded Files Submitting Entities will be able to view and retrieve historical reports submitted by them via the ONR CSDR Settlement Internaliser UI. 7.0 Other Please note that these operational and technical arrangements may be updated. Updates will be pre-advised to Submitting Entities.